RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••• R•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 19, 2018 · Plainville, Ct
- P••••••• S••••••••• I••• formerJan 11, 2007 to Mar 19, 2018 · East Setauket, Ny
- S••••••• I••••••••• I••• formerJul 21, 2004 to Dec 31, 2005 · Rocky Hill, Ct
- M•• F•••••••• S•••••••• I••• formerApr 2, 2002 to Sep 12, 2003 · Guilford, Ct
- P••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 19, 2018, registered Mar 19, 2018 (0 days) · Other
- S••••••• I••••••••• I••• to P••••••• S••••••••• I•••left Dec 31, 2005, registered Jan 11, 2007 (376 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Sep 12, 2003, registered Jul 21, 2004 (313 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address